financings
| Date | Form | Company | Contact | Stock | Warrants | Comments |
| 07/21/09 | $1.6m placement - no investor data | 1,791,738 @ $0.92 - post split | 1,791,738 | 895,868 | Roth Capital Placement Agents | |
| 07/16/09 | $3.2m placement - no investor data | 3,448,042 @ $0.92 - post split | 3,448,042 | 1,724,024 | Roth Capital Placement Agents | |
| 04/09/09 | $1.0m placement - no investor data | 1,881,136 @ $0.55 - post split | 1,881,136 | 1,053,436 | SRA Placement Agents | |
| 03/16/09 | $0.4m placement - no investor data | 785,000 @ $0.55 - post split | 785,000 | 439,600 | SRA Placement Agents | |
| 02/06/09 | 13G | McCarthy, Michael F. | Michael F. McCarthy | 1,800,000 | 450,000 | Series K shares |
| 12/26/08 | $1.3m placement - partial data | 456 @ $2,800 - Series K | 4,560,000 | 1,413,600 | SRA Placement Agents | |
| 10/31/08 | $0.7m placement - no investor data | 111 @ $6,500 - Series J | 1,110,000 | 2,286,600 | SRA Placement Agents | |
| 02/06/09 | 13G | McCarthy, Michael F. | Michael F. McCarthy | 1,140,000 | Series I shares | |
| 09/30/08 | $0.2m placement - partial data | 48 @ $4,400 - Series I | 480,000 | 28,800 | SRA Placement Agents | |
| 09/12/08 | $0.8m placement - partial data | 172 @ $4,400 - Series I | 1,720,000 | 103,200 | SRA Placement Agents | |
| 08/11/08 | $0.8m placement - no investor data | 1,368,333 @ $0.60 - post split | 1,368,333 | 424,183 | SRA Placement Agents | |
| 06/30/08 | $1.6m placement - no investor data | 1,880,500 @ $0.85 - post split | 1,880,500 | 582,955 | SRA Placement Agents | |
| 05/23/08 | $1.7m placement - no investor data | 2,151,250 @ $0.80 - post split | 2,151,250 | 666,887 | SRA Placement Agents | |
| 02/29/08 | $3.5m placement - no investor data | 3,173,500 @ $1.10 - post split | 3,173,500 | 1,142,460 | SRA Placement Agents | |
| 05/24/07 | $15m placement - no investor data | 7,317,073 @ $2.05 - post split | 7,317,073 | 365,853 | SRA Placement Agents | |
| 10/30/06 | $9,6m placement - no investor data | 3,517,230 @ $2.73 - post split | 3,517,230 | 175,861 | SRA Placement Agents | |
| 08/04/06 | $4.8m placement - no investor data | 2,336,752 @ $2.05 - post split | 2,336,752 | 116,837 | SRA Placement Agents | |
| 05/03/06 | $4.8m placement - no investor data | 6,037,500 @ $0.80 | 6,037,500 | 301,875 | SRA Placement Agents | |
| 02/15/06 | 8K | Alpha Capital AG | Kounod Ackerman | 2,803,738 | 520,833 | Bawag / Bank fur Arbeit und Wirtschaft investment |
| 02/15/06 | 8K | Ellis International | Wilhelm Ungar | 1,000,000 | 185,763 | |
| 02/15/06 | 8K | Rutherfoord, Isabel B | Isabel B Rutherfoord | 100,000 | 18,576 | Falcon |
| 02/15/06 | 8K | Rutherfoord, Walton I | Walton I Rutherfoord | 100,000 | 18,576 | Falcon |
| 02/15/06 | 8K | Huber, Gennette R | Gennette R Huber | 100,000 | 18,576 | |
| 02/15/06 | 8K | Kaskus, George Edward | George Edward Kaskus | 100,000 | 18,576 | |
| 02/15/06 | 8K | McCarthy, Mike and Lisa | Mike and Lisa McCarthy | 500,000 | 92,881 | |
| 02/15/06 | 8K | Momona Capital | Arie Rabinowitz | 93,458 | 17,361 | |
| 02/15/06 | 8K | Platinum Partners | Mark Nordlicht | 2,616,822 | 483,111 | Nordlicht - Founder & CoB |
| 02/15/06 | 8K | Whalehaven Capital | Evan Schemenaur | 934,579 | 173,611 | Michael Finkelstein - Pres & CEO |
| 02/15/06 | $4.4m placement | 8,348,598 @ $0.535 | JPC Capital Partners (Corpfin) - placement agents | |||
| 12/05/05 | 8K | Alpha Capital AG | Kounod Ackerman | 2,564,102 | 468,750 | Bawag / Bank fur Arbeit und Wirtschaft investment |
| 12/05/05 | 8K | Ellis International | Wilhelm Ungar | 683,761 | 125,000 | |
| 12/05/05 | 8K | Platinum Partners | Mark Nordlicht | 1,880,342 | 348,750 | Nordlicht - Founder & CoB |
| 12/05/05 | 8K | Whalehaven Capital | Evan Schemenaur | 854,701 | 156,250 | Michael Finkelstein - Pres & CEO |
| 12/05/05 | $3.5m placement | 5,982,905 @ $0.585 | JPC Capital Partners (Corpfin) - placement agents | |||
| 08/05/05 | 8K | JMG Capital Partners | Jonathan Glaser | 2,000,000 | Affiliate: Pacific Asset Management | |
| 08/05/05 | 8K | JMG Triton Offshore Fund | Jonathan Glaser | 2,000,000 | Affiliate: Pacific Asset Management | |
| 08/05/05 | $3.6m placement | 4,000,000 @ $0.90 | JPC Capital Partners (Corpfin) - placement agents | |||
| 08/01/05 | Heights Capital Management, Inc | Todd Silverberg | 2,000,000 | exercise of warrants from July 2004 placement | ||
| 08/01/05 | $2.3M warrant exercise - July 2004 placement | 2,000,000 @ $1.13 | JPC Capital Partners (Corpfin) - placement agents | |||
| 03/15/05 | 8K | $4.1m placement - no investor data | 4,659,090 @ $0.88 | JPC Capital Partners (Corpfin) - placement agents | ||
| 12/16/04 | 8K | $5.8m placement - no investor data | 5,484,790 @ $1.05 | JPC Capital Partners (Corpfin) - placement agents | ||
| 07/30/04 | 8K | Heights Capital Management, Inc | Todd Silverberg | 3,529,412 | Heights Capital Management, Inc. is the investment adviser to Capital Ventures International – Michael Spolan (Caymans) | |
| 07/30/04 | 8k | $3m placement | 3,529,412 @ $0.85 | JPC Capital Partners (Corpfin) - placement agents | ||
| 02/12/04 | S3/A | Mathes, Mark & Teri | Mark & Teri Mathes | 250,000 | ||
| 02/12/04 | S3/A | Portside Growth & Opportunity Fund | Peter Cohen, Morgan Stark, Thomas Strauss, Jeffrey Solomon | 328,947 | The Investment Advisor to Portside Growth & Opportunity Fund is Ramius Capital Group, LLC. The Managing Member of Ramius Capital Group, LLC is C45 & Co., | |
| 02/12/04 | S3/A | Midsummer Investment Ltd | Michel Amsalem, Scott Kaufman | 125,000 | Midsummer Capital, LLC | |
| 02/12/04 | S3/A | Gamma Opportunity Capital Partners LP | Christopher Rossman, Jonathan P. Kurglef, PhD | 131,578 | Gamma Capital Advisors Ltd | |
| 02/12/04 | S3/A | Enable Growth Partners | Mitch Levine | 98,683 | ||
| 02/12/04 | S3/A | Elliot International, LP | Paul Singer | 296,052 | ||
| 02/12/04 | S3/A | Elliot Associates, LP | Paul Singer | 197,368 | ||
| 02/12/04 | S3/A | Crescent International, Ltd | Mel Craw, Maxi Brezzi | 275,000 | Cantara (Switzerland) SA | |
| 02/12/04 | S3/A | McCarthy, Michael & Lisa | Michael & Lisa McCarthy | 375,000 | ||
| 02/12/04 | S3/A | Bristol Investment, Ltd | Paul Kessler, Diana Deryca-Kessler | 164,473 | Bristol Investment Group, Ltd or Inc - Client of Finkelstein | |
| 02/12/04 | S3/A | Langley Partners, LP | Jeffrey Thorp | 562,500 | Langley Partners LP | |
| 02/12/04 | S3/A | Deephaven Small Cap Growth Fund LLC | Colin Smith | 575,657 | Deephaven Capital Management LLC | |
| 02/12/04 | S3/A | Alexandra Global Master Fund, Ltd | Mikhail A. Filimonov, Dimitri Sogoloff | 500,000 | Alexander Investment Management LLC | |
| 02/12/04 | S3/A | Omicron Master Trust | Olivier H. Morali, Bruce T. Bernstein | 250,000 | Omicron Capital, L.P., and Winchester Global Trust Company Limited ("Winchester") serves as the trustee of Omicron. | |
| 02/12/04 | S3/A | Cranshire Capital, LP | Mitchell P. Klein, Pres of Downsview Capital | 328,947 | ||
| 02/12/04 | S3/A | Longview International Equity Fund, LP | Wayne H. Coleson, Redwood Grove Capital Management | 52,631 | ||
| 02/12/04 | S3/A | Longview Equity Fund, LP | Wayne H. Coleson, Redwood Grove Capital Management | 78,947 | ||
| 02/12/04 | S3/A | Spectra Financial Group | Gregory Porges | 65,789 | Spectra Financial Group is affiliated with MRT, LP. | |
| 02/12/04 | S3/A | JP Carey Securities, Inc | Joseph C. Canouse | 146,905 | Placement Agents | |
| 02/12/04 | S3/A | Adelman, Jason | Jason Adelman | 7,345 | affiliates of broker of earlier financing | |
| 02/12/04 | S3/A | Singer, Eric | Eric Singer | 7,345 | affiliates of broker of earlier financing | |
| 02/12/04 | S3/A | West, Sandra | Sandra West | 44,365 | warrants for services | |
| 11/18/03 | $7.1m placement | 3,725,263 @ 1.90 | JP Carey Securities (Corpfin) - placement agents | |||
| 08/19/03 | S3/A | Silver Oak Investments, Inc. | Murray Todd | 1,118,422 | ||
| 08/19/03 | S3/A | RHP Master Fund Ltd. | Wayne Bloch, Gary Kaminsky, Peter Lockhart | 559,212 | Rock Hill | |
| 08/19/03 | S3/A | Alpha Capital AG | Konrad Ackerman | 1,677,634 | Bawag / Bank fur Arbeit und Wirtschaft investment | |
| 08/19/03 | S3/A | Ellis Enterprises | Dr. Julian Ungar | 447,369 | ||
| 08/19/03 | S3/A | North Sound Legacy International Ltd. | Thomas McAuley | 335,528 | ||
| 08/19/03 | S3/A | North Sound Legacy Institutional Fund | Thomas McAuley | 335,528 | ||
| 08/19/03 | S3/A | MRT, LP | Gregory Porges, Andrew Burton | 223,685 | Spectra Financial Group is affiliated with MRT, LP. | |
| 08/19/03 | S3/A | OTAPE LLC | Ira Leventhal | 559,212 | OTA | |
| 08/19/03 | S3/A | CD Investment Partners, Ltd. | John Ziegelman | 290,791 | ||
| 08/19/03 | S3/A | Vertical Ventures Investments, LLC | Joshua Silverman | 1,062,500 | ||
| 08/19/03 | S3/A | Olinger, Norbert | Norbert Olinger | 55,922 | Judith & Norbert are husband and wife | |
| 08/19/03 | S3/A | Clark, Phil IRA R/O | Phil Clark | 111,843 | ||
| 08/19/03 | S3/A | Weiss, Alan | Alan Weiss | 55,922 | ||
| 08/19/03 | S3/A | Jacobson, Stuart | Stuart Jacobson | 55,922 | ||
| 08/19/03 | S3/A | Olinger, Judith Ellen Rev. Trust | Judith E. Olinger | 55,922 | Judith & Norbert are husband and wife | |
| 08/19/03 | S3/A | Helen Jones Marital Trust | Michael P. Rucker | 55,922 | ||
| 08/19/03 | S3/A | Jerden Enterprises, Inc. | Dr. Myles Jerden | 223,685 | ||
| 08/19/03 | S3/A | Lehman, James K. & Danna H. | James K. & Danna H. Lehman | 27,962 | ||
| 08/19/03 | S3/A | Garza, Oscar and Sheryl Bilas | Oscar Garza and Sheryl Bilas | 27,962 | ||
| 08/19/03 | S3/A | Mennes, Martin & Linda B. | Martin & Linda B. Mennes | 67,106 | ||
| 08/19/03 | S3/A | Nordlicht, Jules | 1,118,422 | Jules Nordlicht - Father of Mark | ||
| 08/19/03 | S3/A | Arosa Investment Ltd. | C. B. Williams | 2,236,843 | ||
| 08/19/03 | S3/A | Falcon Point Associates | Walton I. Rutherfoord and Marie D. Rutherfoord | 559,212 | Walton I and Marie D Rutherfoord | |
| 08/19/03 | S3/A | Winslow Hedge Fund, LP | Jackson W. Robinson | 559,212 | Subdivision of Adams, Harkness & Hill | |
| 08/19/03 | S3/A | Platinum Partners Value Arbitrage Fund | Mark Nordlicht | 223,685 | Nordlicht - Founder & CoB | |
| 08/19/03 | S3/A | James L. Melcher | James L. Melcher | 55,922 | Balestra | |
| 08/19/03 | S3/A | Melcher Family Trust | Carl Melcher | 55,922 | ||
| 08/19/03 | S3/A | Balestra Capital Partners, LP | James L. Melcher | 111,843 | ||
| 08/19/03 | S3/A | Adelman, Jason | Jason Adelman | 112,880 | Managing Director of HC Wainwright & Co, Inc - the placement agent | |
| 08/19/03 | S3/A | Singer, Eric | Eric Singer | 154,539 | Managing Director of HC Wainwright & Co, Inc - the placement agent | |
| 08/19/03 | S3/A | Markovich, Steve | Steve Markovich | 2,500 | Employee of HC Wainwright & Co, Inc - the placement agent | |
| 08/19/03 | S3/A | Nathan, Robert | Robert Nathan | 13,857 | Employee of HC Wainwright & Co, Inc - the placement agent | |
| 08/19/03 | S3/A | Matthew Balk | Matthew Balk | 31,224 | Employee of HC Wainwright & Co, Inc - the placement agent | |
| 08/19/03 | S3/A | Kimball & Cross Investment Management | John C. Clifford, John E. Tobin and Richard R. Laine, Jr | 888 | Sub placement agent | |
| 08/19/03 | S3/A | Herman, Brian | Brian Herman | 888 | Employee of View Trade Securities, a sub-placement agent | |
| 08/19/03 | S3/A | Shufeldt, Chris | Chris Shufeldt | 887 | Employee of Kimball & Cross, a sub-placement agent | |
| 08/19/03 | S3/A | Hudson Valley Capital Management | Mark Gillis & Charles Doller | 7,107 | Affiliate of Kimball & Cross, sub-placement agent | |
| 08/07/03 | $3.6m employee options & loan repayment | |||||
| 04/30/03 | $5.5m placement | 7,217,115 @ $0.76 - Series H | HC Wainwright - placement agents | |||
| 01/08/03 | S3/A | Redwave plc | 1,700,000 | formerly: Internet Technology Group | ||
| 11/13/01 | S3 | BIZ | 333,000 | |||
| 07/31/01 | S3 | BIZ | 667,000 | |||
| 09/21/00 | S3 | Blue Windup, LLC | 374,889 | |||
| 09/21/00 | S3 | Redwave plc | 800,000 | formerly: Internet Technology Group | ||
| 09/21/00 | S3 | Gustin Partners | 7,789 | |||
| 03/24/00 | S3 | Alliance Health Care | 6,500 | AllianceBernstein Global Health Care Fund, Inc | ||
| 03/24/00 | S3 | American Master Fund "Hilspen Series" | Joseph L Toms | 17,100 | Hilspen Capital Mangement | |
| 03/24/00 | S3 | Anegada Fund Ltd | 3,000 | run by Cannell Capital - J Carlo Cannell | ||
| 03/24/00 | S3 | Baystar Capital, LP | 150,000 | Baystar Capital Management LLC - Now LRG Capital - Larry Goldfarb | ||
| 03/24/00 | S3 | Baystar International | 50,000 | Baystar Capital II LP - Now LRG Capital - Larry Goldfarb | ||
| 03/24/00 | S3 | Ben Joseph Partners | 20,000 | |||
| 03/24/00 | S3 | Burrowes, Paul J | Paul J Burrowes | 5,000 | ||
| 03/24/00 | S3 | Cascade Capital Partners LP | 93,600 | |||
| 03/24/00 | S3 | East Peak Partners Partners LP | 90,000 | |||
| 03/24/00 | S3 | EDJ Limited | 10,000 | |||
| 03/24/00 | S3 | Fidelity National Title Insurance Co. | 40,000 | |||
| 03/24/00 | S3 | Gauld, Stuart G | Stuart G Gauld | 10,000 | ||
| 03/24/00 | S3 | Gruber & McBaine Intl | 10,000 | |||
| 03/24/00 | S3 | Gruber, Jon D | 10,000 | |||
| 03/24/00 | S3 | Gryphon Offshore Fund | 18,240 | |||
| 03/24/00 | S3 | Hare Investment Fund | 20,800 | |||
| 03/24/00 | S3 | Hilspen Capital Partners | Joseph L Toms | 8,800 | Hilspen Capital Mangement | |
| 03/24/00 | S3 | Hilspen Capital Partners II | Joseph L Toms | 49,100 | Hilspen Capital Mangement | |
| 03/24/00 | S3 | Hollis Capital Partners | 50,000 | |||
| 03/24/00 | S3 | Jackson Square Partners LP | 70,000 | |||
| 03/24/00 | S3 | Job & Co | 8,160 | |||
| 03/24/00 | S3 | Kent Williams Investment Assoc. | 20,000 | |||
| 03/24/00 | S3 | Lagunitas Partners LP | 30,000 | |||
| 03/24/00 | S3 | Martin, Loy | Loy Martin | 7,000 | ||
| 03/24/00 | S3 | Medical Education & Consulting Inc. | 20,000 | |||
| 03/24/00 | S3 | Porter Partners, LP | 50,000 | |||
| 03/24/00 | S3 | Small Cap Fund | 13,500 | |||
| 03/24/00 | S3 | Tonga Patners, LP | 22,000 | run by Cannell Capital - J Carlo Cannell | ||
| 03/24/00 | S3 | Ultra Whitney Ltd | Whitney Partners ?? | 8,100 | ||
| 03/24/00 | S3 | Whitney Partners, LP | 26,900 | |||
| 03/24/00 | S3 | Rosenbach, Gary | Gary Rosenbach | 25,000 | ||
| 03/24/00 | S3 | Foxhound Fund LP | 75,000 | |||
| 03/24/00 | S3 | Marcuard Cook & CIE SA | 30,000 | |||
| 03/24/00 | S3 | Metzler Investment GmbH | 350,000 | |||
| 03/24/00 | S3 | Resonance Limited | 88,000 | |||
| 03/24/00 | S3 | Veritas SG Investment Trust GMBH | 125,000 | |||
| 03/24/00 | S3 | Kamin, Anthony | Anthony Kamin | 10,000 | ||
| 03/24/00 | S3 | Ram Trading, Ltd | 150,000 | |||
| 03/24/00 | S3 | Covington Partners | 20,000 | |||
| 03/24/00 | S3 | Brookside Capital Partner Fund | 1,000,000 | Bain Capital | ||
| 03/24/00 | S3 | Essex Performance Fund Ltd | 56,468 | |||
| 03/24/00 | S3 | Farrell Distributing Corp. Pension Fund | 8,000 | |||
| 03/24/00 | S3 | Green Century Balanced Fund | 25,000 | Green Century Funds | ||
| 03/24/00 | S3 | Jessie Smith Noyes Foundation | 17,000 | |||
| 03/24/00 | S3 | New Discovery Fund Ltd | 23,532 | |||
| 03/24/00 | S3 | Balestra Capital Partners, LP | James L. Melcher | 20,000 | ||
| 03/24/00 | S3 | Island Asset Fund LP | Joseph Simone | 10,000 | ||
| 03/24/00 | S3 | Island Capital Offshore Fd Ltd | Joseph Simone | 10,000 | ||
| 03/24/00 | S3 | Thorp, Jeffrey IRA | Jeffrey Thorp | 10,000 | Langley Capital LLC | |
| 03/24/00 | S3 | Thorp, Jeffrey IRA Rollover | Jeffrey Thorp | 20,000 | ||
| 03/24/00 | S3 | Narragansett I LP | 19,980 | |||
| 03/24/00 | S3 | Narragansett Offshore Ltd | 7,020 | |||
| 03/24/00 | S3 | Nordlicht, Jules | 88,000 | Jules Nordlicht - Father of Mark | ||
| 03/24/00 | S3 | Orbitex Growth Fund | 15,000 | |||
| 03/24/00 | S3 | Singer, Rich H | Rch H Singer | 15,000 | ||
| 03/24/00 | S3 | Special Situations Cayman Fund LP | 12,500 | |||
| 03/24/00 | S3 | Special Situations Fund III LP | 37,500 | |||
| 03/24/00 | S3 | TCMP3 Partners | 25,000 | |||
| 03/24/00 | S3 | Trellus Partners, LP | 25,000 | |||
| 03/24/00 | S3 | Clarion Capital Corporation | 15,000 | |||
| 03/24/00 | S3 | Clarion Offshore Fund Ltd | 5,000 | |||
| 03/24/00 | S3 | Clarion Partners, LP | 20,000 | |||
| 03/24/00 | S3 | Lancaster Investment Partners | Robert A. Berlacher, President of LIP Advisors | 100,000 | ||
| 03/24/00 | S3 | RGC International Investors, LDC | 75,000 | |||
| 03/24/00 | S3 | Zeke LP | 30,000 | |||
| 03/24/00 | S3 | Apogee Fund, LP | 100,000 | |||
| 03/07/00 | $122m placement | 3.6m @ $34 | Pacific Growth Equities - Placement agents | |||
| 12/16/99 | S3 | Chase Venture Capital Associates, LP | 658,654 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Mitsui Comtek Corp. | 96,538 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Sobrato 1979 Revocable Trust | 15,453 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Joerger, Tricia | Tricia Joerger | 341 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Bumgarner, Donna | Donna Bumgarner | 682 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Campbell, Gordon | Gordon Campbell | 9,651 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Campbell, Gordon | Gordon Campbell | 66,821 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Keilhacker, Kurt | Kurt Keilhacker | 21,825 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Whims, James Lee | James Lee Whims | 10,913 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Morihiro, Koji | Koji Morihiro | 5,457 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Onopchenko, Laura | Laura Onopchenko | 1,915 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Wierenga, Eleanor M. | Eleanor M. Wierenga | 151 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Techfund Capital Management LLC | 15,580 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Techfund Capital L.P. | 154,655 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Cushman Living Trust | 1,023 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Cambridge Samsung Partners, LLC | 223,798 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Kawamura, Eiji | Eiji Kawamura | 9,655 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Veil, Leonard S. | Leonard S. Veil | 34 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Grammer, Jeffrey H. | Jeffrey H. Grammer | 7 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Chiumiento, Patrick | Patrick Chiumiento | 7 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Junkermier, William | William Junkermier | 7 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Stephenson, Donald | Donald Stephenson | 696 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | NQUIT, Inc. | 682 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Weiss, Richard | Richard Weiss | 2,729 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Murray, Eric | Eric Murray | 2,251 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Golding, Gary P. | Gary P. Golding | 183 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | CEO Venture Fund II | 105,835 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Corporate Venture Partners, L.P. | 56,876 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Poly Ventures II, L.P. | 47,628 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Wessel, Jay | Jay Wessel | 284 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Colker, James | James Colker | 913 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | ACO c/o National City Bank | 913 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Yost, Eugene R. | Eugene R. Yost | 913 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Parks, Timothy | Timothy Parks | 183 | shares originally from acquitisiton of N*ABLE | |
| 12/16/99 | S3 | Databook Inc. | 7,299 | shares originally from acquitisiton of N*ABLE | ||
| 12/16/99 | S3 | Hewlett-Packard Company | 69,626 | In connection with coop agreement | ||
| 06/29/99 | S1A | Aladdin Knowledge Systems, Ltd. | 1,216,136 | Will hold 1,315191 - 4.2% after sale | ||
| 06/29/99 | S1A | Carriage Partners LLC | 456,818 | Includes 275,000 warrants for full payment of $2m promissory note | ||
| 06/29/99 | S1A | Mudge, Craig | Craig Mudge | 3,093 | Partical payment of consulting services in 1998 | |
| 06/29/99 | S1A | Schneier, Bruce | Bruce Schneier | 1,031 | Partical payment of consulting services in 1998 | |
| 06/29/99 | S1A | Lora Lee Professional Recruiters, Inc. | 15,000 | Payment for professional servcies in 1998 | ||
| 06/29/99 | S1A | Jaffoni & Collins Incorporated | Wave's Investor Relations - David Collins | 17,500 | Payment for professional servcies in 1998 | |
| 06/29/99 | S1A | William Morris Agency, Inc. | 150,000 | Payment for professional servcies in 1998 | ||
| 06/29/99 | S1A | Artopoeus Capital Management | Carl A. Artopoeus | 56,667 | Payment for legal settlement - January 25, 1999 | |
| 06/29/99 | S1A | Eskanos, Barry | Barry Eskanos | 28,333 | Payment for legal settlement - January 25, 1999 | |
| 06/29/99 | S1A | Combination Inc. | David Freund, President | 150,000 | Preferred G | |
| 06/29/99 | S1A | Southeast Interactive Technology Fund, LLC | 330,671 | |||
| 06/29/99 | S1A | Merrill, Barrant V. | Barrant V. Merrill | 3,000 | ||
| 06/29/99 | S1A | Balestra Capital Partners LP | James L. Melcher | 20,000 | ||
| 06/29/99 | S1A | Endeavor Asset Management, LP | 15,000 | |||
| 06/29/99 | S1A | Clarion Capital Corporation | Morton Cohen | 31,818 | ||
| 06/29/99 | S1A | Clarion Offshore Fund Ltd. | Morton Cohen | 13,000 | ||
| 06/29/99 | S1A | Clarion Partners, L.P. | Morton Cohen | 46,091 | ||
| 06/29/99 | S1A | Fidelity National Title Insurance Co. | 125,000 | |||
| 06/29/99 | S1A | Bogner Regis, Inc. | 10,000 | |||
| 06/29/99 | S1A | Gauld, Stuart G. | Stuart G. Gauld | 11,000 | ||
| 06/29/99 | S1A | Cascade Capital Partners, L.P. | 165,200 | |||
| 06/29/99 | S1A | Job & Co. | 12,800 | |||
| 06/29/99 | S1A | Gryphon Offshore Fund | 22,000 | |||
| 06/29/99 | S1A | Kamin, Anthony | Anthony Kamin | 5,000 | ||
| 06/29/99 | S1A | Lancaster Investment Partners, L.P. | 50,000 | |||
| 06/29/99 | S1A | Martin, Loy D. | Loy D. Martin | 10,000 | ||
| 06/29/99 | S1A | Rosenbach, Gary | Gary Rosenbach | 65,000 | ||
| 06/29/99 | S1A | Ross, Gary W. | Gary W. Ross | 9,000 | ||
| 06/29/99 | S1A | Trellus Partners, L.P. | 100,000 | |||
| 06/29/99 | S1A | V/F Skagen Global | 50,000 | Skagen Funds | ||
| 06/29/99 | S1A | The Brooks Revocable Trust | Evan Brooks & Violet Brooks,Trustees | 25,000 | ||
| 06/29/99 | S1A | Brown, David C. | David C. Brown | 100,000 | ||
| 06/29/99 | S1A | Walkingshaw, M. Jay | M. Jay Walkingshaw | 10,000 | ||
| 06/29/99 | S1A | Whitney Partners, LP | 150,000 | |||
| 06/29/99 | S1A | Lewis, Huey AKA Hugh Cregg | Huey Lewis | 3,500 | ||
| 06/29/99 | S1A | Cregg Conroy Revocable Trust | Hugh Cregg and Sidney Conroy, Trustees | 500 | ||
| 06/29/99 | S1A | Dragul, MD , Paul | Paul Dragul, MD | 13,000 | ||
| 06/29/99 | S1A | McLeod, J. Glen | J. Glen McLeod | 7,000 | ||
| 06/29/99 | S1A | Kenck, Todd | Todd Kenck | 2,000 | Affilliate of Pacific Growth Equities - placement agent | |
| 06/29/99 | S1A | Stone, K.C. | K.C. Stone | 3,000 | Affilliate of Pacific Growth Equities - placement agent | |
| 06/29/99 | S1A | Coleman Jr., John C. | John C. Coleman, Jr. | 10,000 | Affilliate of Pacific Growth Equities - placement agent | |
| 06/29/99 | S1A | Padou, Donald | Donald Padou | 10,000 | Affilliate of Pacific Growth Equities - placement agent | |
| 06/29/99 | S1A | Osgood, Richard H. | Richard H. Osgood | 10,000 | Affilliate of Pacific Growth Equities - placement agent | |
| 06/29/99 | S1A | Massocca, Stephen J. | Stephen J. Massocca | 70,000 | Affilliate of Pacific Growth Equities - placement agent | |
| 06/29/99 | S1A | Olson, Stephen | Stephen Olson | 3,500 | Affilliate of Pacific Growth Equities - placement agent | |
| 06/29/99 | S1A | Apodaca Investment Group | Jerry Apodaca | 50,000 | Apodaca Investment Partners & Apodaca Investment Offshore | |
| 06/29/99 | S1A | Special Situations Private Equity Fund, LP | 50,000 | |||
| 06/29/99 | S1A | Commerzbank AG | 454,545 | |||
| 06/29/99 | S1A | Marcuard Cook & Cie S.A. | 50,000 | |||
| 06/29/99 | S1A | Burrowes, Paul | Paul Burrowes | 25,000 | ||
| 06/29/99 | S1A | Security Trend Partners | 25,000 | |||
| 06/29/99 | S1A | Veritas SG Investment Trust GMBH | 100,000 | |||
| 06/29/99 | S1A | Gruber & Mcbaine International | 11,000 | |||
| 06/29/99 | S1A | Gruber, Jon D. | Jon D. Gruber | 6,500 | ||
| 06/29/99 | S1A | Donaghy Inc. | 2,000 | |||
| 06/29/99 | S1A | Hare & Co. for Trustees of Hamilton College | 2,000 | |||
| 06/29/99 | S1A | Matthies, Karl & Deborah | Karl & Deborah Matthies | 1,500 | ||
| 06/29/99 | S1A | Lagunitas Partners, LP | 27,000 | |||
| 06/29/99 | S1A | Ball, Edgar L. | Edgar L. Ball | 20,000 | ||
| 06/29/99 | S1A | Niedermeyer Jr., Thomas J. | Thomas J. Niedermeyer, Jr. | 5,000 | ||
| 06/29/99 | S1A | Hollis Capital Partners | 50,000 | |||
| 06/29/99 | S1A | Porter Partners, LP | 30,000 | |||
| 06/29/99 | S1A | Internet Technology Group PLC | 200,000 | Warrant issued at $1.75 in connection with formation of GlobalWave | ||
| 06/29/99 | S1A | Weeden Brothers | 22,500 | Warrant for private placement in 1994 | ||
| 03/23/99 | PR | $23m Placement | 2.1m shares @ $11 | Pacific Growth Equities - Placement agents | ||
| 01/29/99 | PR | $2m Bridge Loan | ||||
| 06/03/98 | S1A | Combination Inc | David Freund, President | 6,097,725 | ||
| 06/03/98 | S1A | Kimberlin, Kevin | Kevin Kimberlin | 360,000 | Founder of Ciena / GM of Nex Level Comm | |
| 06/03/98 | S1A | Seedman, Michael | Michael Seedman, was on Wave BOD | 240,000 | US Robotics and a number of others | |
| 06/03/98 | S1A | Negroponte, Nicholas | Nicholas Negroponte | 60,000 | MIT etc | |
| 06/03/98 | S1A | Media Technologies | 60,000 | |||
| 06/03/98 | S1A | Aladdin Knowledge Systems, Ltd. | 1,500,000 | |||
| 06/03/98 | S1A | ChipShots Associates LLC | 25,871 | Received in an "exchange transaction" | ||
| 06/03/98 | S1A | Chemel, Richard | Richard Chemel | 18,000 | Compensation for services rendered | |
| 06/03/98 | S1A | Orbach, Bobby | Bobby Orbach | 20,000 | Compensation for services rendered | |
| 06/03/98 | S1A | Wargon, Martin | Martin Wargon | 9,000 | Compensation for services rendered | |
| 03/06/98 | 8K | $3.0m Placement | 150,000 Series G @ $20/share | Wharton Capital - Placement agents - Combination buyers | ||
| 12/05/97 | S3A | Combination Inc. | David Freund, President | 5,782,090 | Series F shares | |
| 12/05/97 | S3A | Wharton Capital Partners, Ltd | Placement Agents of Series C & D | 56,250 | ||
| 12/05/97 | S3A | Galapagos Software, Inc. | Software Dev Payment | 20,000 | Galapagos Partners - agreement 2/13/97, issued 20K shares | |
| 10/09/97 | 8K | $3.05m Financing, $2.25m Series F plus | 112,500 Series F @ 20 | Wharton Capital - Placement agents | ||
| 09/16/97 | 8K | 800,000 @ $0.80 / 160,000 warrants @ $1.00 | ||||
| 06/16/97 | S3A | JNC Opportunity Fund Ltd | William House - Series D shares | 2,600,000 | admin by Olympia Capital in Bermuda - William House | |
| 06/16/97 | S3A | Corbett, Bill | Bill Corbett | 3,750 | Shares had been issued to Wharton | |
| 06/16/97 | S3A | Gillingham, Bradford | Bradford Gillingham | 3,750 | Shares had been issued to Wharton | |
| 06/16/97 | S3A | Shemano, Gary | Gary Shemano | 7,500 | Shares had been issued to Wharton | |
| 06/16/97 | S3A | The Shemano Group, Inc | Series C warrants | 37,500 | Shares had been issued to Wharton | |
| 06/16/97 | S3A | Wharton Capital Partners, Ltd | Placement Agents of Series D | 25,000 | ||
| 05/30/97 | 8K | $1.6m Placement | 80,000 Series D @ 20, JNC | Wharton Capital - Placement agents | ||
| 03/24/97 | S3A | JNC Opportunity Fund Ltd | William House - Series C shares | 3,000,000 | admin by Olympia Capital in Bermuda - William House | |
| 03/24/97 | S3A | Leigh, William C. | William C. Leigh | 15,000 | ||
| 03/24/97 | S3A | Strategic Executives | 3,077 | |||
| 03/24/97 | S3A | Brofman, Charles | Charles Brofman | 7,500 | ||
| 03/24/97 | S3A | Burchetta, James D. | James D. Burchetta | 7,500 | ||
| 03/24/97 | S3A | Royalty Capital Partners, L.P | 45,000 | |||
| 03/24/97 | S3A | Wharton Capital Partners, Ltd | Placement Agents for Series C | 37,500 | Sale of Exercied Warrants issued w/Series C | |
| 12/27/96 | 8K | $3.0m Placement | 150,000 Series C @ 20, JNC | Wharton Capital - Placement agents | ||
| 05/29/96 | 8K | 350 shares of Series B @$10,000 to 5 offshore investors | 350 shares of Series B @ 10,000 each |